SOX Auditor

We are looking for an experienced SOX Auditor to support a Financial Services organization in El Monte, California. This Long-term Contract opportunity is suited for a senior audit specialist who can lead risk-focused reviews across financial, operational, and compliance areas while partnering closely with internal audit leadership. The role requires strong judgment, clear communication, and the ability to deliver thorough audit results that strengthen internal controls and business performance.

Responsibilities:

• Lead end-to-end audit engagements across financial, operational, compliance, and SOX-related areas, from initial scoping through final reporting, using a risk-based methodology.

• Develop audit plans, perform fieldwork, evaluate internal controls, and recommend practical improvements that enhance effectiveness, efficiency, and compliance.

• Prepare clear, well-supported audit reports and provide regular status updates to internal audit management on progress, risks, timing, and budget.

• Strong accounting and financial reporting expertise, including a solid understanding of U.S. GAAP, financial statements, disclosures, and internal controls over financial reporting.
• Demonstrated experience planning and executing Regulation F and Regulation W audits on multiple occasions.
• Strong understanding of affiliate transactions, covered transactions, quantitative limits, collateral requirements, and market terms requirements.
• Strong understanding of interaffiliate transaction and correspondent banking requirements
• Ability to assess the end-to-end financial reporting process, including key controls, reconciliations, management review controls, and supporting IT-dependent controls.
• Experience evaluating the completeness and accuracy of data used in financial and regulatory reporting.
• Strong analytical skills with the ability to understand complex accounting and regulatory matters and translate them into effective audit procedures.

Qualifications:

• 7+ years of experience in internal audit, SOX, operational audit, compliance audit, financial audit, or a related audit function.

• Strong knowledge of financial reporting audit (including Reg W and F) and experience assessing the design and effectiveness of internal controls.

• Demonstrated ability to lead audit engagements independently, manage competing deadlines, and deliver high-quality reporting.

• Background in the Financial Services industry, with an understanding of regulatory and operational risk considerations.

• Excellent written and verbal communication skills, including the ability to present findings and recommendations to management.

• Experience reviewing audit documentation, guiding team members, and ensuring conclusions are properly supported by evidence.

• Certifications such as CPA, CIA, or other relevant audit or accounting credentials are preferred.

Compensation

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